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https://www.akingump.com/en/news-insights/sec-issues-final-rule-regarding-mutual-fund-and-etf-disclosure-requirements-and-adopts-new.html
Jan 28, 2009 · The rule also includes new requirements and alternative disclosures for exchange traded funds (ETFs). The SEC also adopted a new prospectus delivery regime to allow mutual funds to satisfy their obligations with the delivery of a “summary” prospectus and providing access to the statutory prospectus on their Web site as part of a layered disclosure system.
https://advisorhub.com/goldman-sachs-fined-700000-failing-deliver-etf-prospectuses/
Dec 04, 2017 · Goldman Sachs Fined $700,000 for Failing to Deliver ETF Prospectuses ... The primary cause of the prospectus delivery problem was a design flaw that Goldman failed to …
https://www.sec.gov/fast-answers/answersetfhtm.html
Nov 08, 2013 · Exchange-traded funds (ETFs) are SEC-registered investment companies that offer investors a way to pool their money in a fund that invests in stocks, bonds, or other assets. In return, investors receive an interest in the fund. Most ETFs are professionally managed by SEC-registered investment advisers.
https://www.mofoiminsights.com/2014/12/finra-sanctions-member-firm-for-failure-to-deliver-etf-prospectuses/
Dec 19, 2014 · FINRA recently sanctioned a broker-dealer (the “Firm”) for failure to deliver prospectuses in connection with its sale of ETFs. FINRA also found that the Firm failed to implement a supervisory system reasonably designed to achieve compliance with securities laws and regulations governing ETF prospectus delivery. The Firm was censured and agreed to a fine of $3 million.
https://www.investmentexecutive.com/news/from-the-regulators/etfs-granted-exemptions-from-prospectus-requirements/
Aug 02, 2013 · Generally, ETFs only have to provide a prospectus for orders filled from a dealer’s inventory of so-called ‘creation units’, which are issued to dealers that are authorized to purchase newly issued securities directly from the fund and then sold on an exchange.
https://www.finra.org/investors/learn-to-invest/types-investments/investment-funds/exchange-traded-fund
Before purchasing ETF shares, carefully read all of an ETF’s available information, including its prospectus. All ETFs will deliver a prospectus upon request. All ETFs will deliver a prospectus …
https://finance.zacks.com/requirements-prospectus-delivery-mutual-funds-11356.html
Prospectus Delivery. The SEC requires mutual fund managers to provide investors an Internet link to a fund's prospectus summary, along with a toll-free number and an e-mail address where they can ...
https://www.etf.com/US00326A10
etf.com does not take responsibility for your investment or other actions nor shall etf.com have any liability, contingent or otherwise, for the accuracy, completeness, timeliness, or correct ...
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